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Off-site NASD Links, User Submitted

The following links have been collected through user bookmark submission in the NASD category. Please note, because these resources are off-site we cannot guarantee the accuracy or quality of any information.

Mon Jun 15

• FINRA - FINRA Protects: Financial Industry Regulatory Authority: ??- ???? ????

Sun Jun 7

• Svetlin Nakov

Thu Apr 23

• Series 63 | Series 7 and 63 Exam Materials: Series 63 Exam materials including books, CDs, and online training. Long Island Institute of Finance.
• Series 7 | Stockbroker Series 7 Exam Training: This is the Long Island Institute of Finance page that has Series 7 material. They sell Series 7 books, CDs, and online training.

Thu Apr 16

• Series 7, 6, 65 Exam Training: This website is a storefront for Empire Stockbroker Training Institute. You can purchase books, cds, and online testing programs for the Series 7 exam, Series 6 exam, Series 63 exam, Series 66 exam, Series 65 exam, and many more.

Fri Mar 27

• NASD100.com

Tue Feb 17

• p003046.pdf (application/p df Object)

Sat Nov 29

• White & Case LLP - Publications - Broker-Dealer Update: Notice to Members 06-69 Regarding Gifts and Gratuities: $100 limit

Sat Nov 8

• FINRA - NASD Fines Hantz Financial $675,000 for Fraud, Misrepresentat ions Related to Undisclosed Revenue Sharing Arrangements

Fri Nov 7

• EMAIL COMPLIANCE REGULATIONS | HIPAA EMAIL COMPLIANCE | NASD MAIL COMPLIANCE | (212)564-4922: Email Compliance Regulations: Our compliance with the SAS 70 auditing standard is certified-SAS 70: SEC | NASD: HIPAA: Gramm-Leach-Bi lley Act of 1999: Sarbanes-Oxley compliance information -Data Storage Corporation.

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Off-site Nasd Research Links

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